DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• M•••••• K••••••
Feed of 09/15/2026
Also filed as S••••• M•••••• K••••••••• M• K••••••
At current firm
4 y
since May 19, 2022
In the industry
12 y
since Jun 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 19, 2022 · Montrose, Mn
- W•••• F•••• A••••••• wirehouseSep 14, 2021 to Apr 8, 2022 · Wayzata, Mn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 8, 2022, registered May 19, 2022 (41 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedApr 8, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address